Managers / Q4 2020 · view latest →
Cowen Prime Services LLC
CIK 0001543830 · 599 LEXINGTON AVENUE, 21ST FLOOR, NEW YORK, NY, 10022 · 646-562-1010
Summary
Cowen Prime Services LLC reported $226M in U.S.-listed holdings across 172 positions for Q4 2020.
Its largest position, PDFS, represents 15.0% of the portfolio.
Compared with Q3 2020, the fund opened 7 new positions and exited 14.
Portfolio Metrics
Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.
Reported Value by Quarter
Portfolio Composition
- Common Stock · 78.9% · $178M
- Other · 13.5% · $30M
- US DOMESTIC · 3.7% · $8M
- ADR · 1.7% · $4M
- MLP · 1.5% · $3M
- Other · 0.7% · $2M
Quarter-over-Quarter Changes full breakdown →
vs Q3 2020 (amended baseline)
| Issuer | Move | Share Δ | Shares now | Value Δ | Value now |
|---|---|---|---|---|---|
| HTG MOLECULAR DIAGNOSTICS IN COM NEW | NEW | +441.9K | 441.9K | +$2M | $2M |
| ARCCARES CAPITAL CORP COM | NEW | +15.0K | 15.0K | +$253,000 | $253,000 |
| VTRSVIATRIS INC COM | NEW | +12.1K | 12.1K | +$226,000 | $226,000 |
| LNTHLANTHEUS HLDGS INC COM | NEW | +9.6K | 9.6K | +$130,000 | $130,000 |
| ASPIRA WOMENS HEALTH INC COM | NEW | +15.0K | 15.0K | +$101,000 | $101,000 |
| GBDCGOLUB CAP BDC INC COM | NEW | +900 | 900 | +$13,000 | $13,000 |
| BHCBAUSCH HEALTH COS INC COM | NEW | +26 | 26 | +$1,000 | $1,000 |
| RSSSRESEARCH SOLUTIONS INC COM | ADDED | +484.0K | 676.0K | +$1M | $2M |
Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.
Holdings — Q4 2020
Filing History
| Quarter | Reported Value | Positions | Filed | Type | Links |
|---|---|---|---|---|---|
| Q2 2021 | $276M | 167 | Jul 16, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q1 2021 | $264M | 173 | Apr 27, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q4 2020 | $226M | 172 | Jan 27, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q3 2020 | $205M | 179 | Oct 29, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q2 2020 | $212M | 194 | Jul 29, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q1 2020 | $164M | 209 | Apr 28, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q4 2019 | $219M | 179 | Feb 4, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q3 2019 | $193M | 163 | Nov 6, 2019 | 13F-HR | changes · EDGAR ↗ |
| Q2 2019 | $207M | 172 | Jul 31, 2019 | 13F-HR | changes · EDGAR ↗ |
| Q1 2019 | $193M | 167 | May 1, 2019 | RESTATEMENT | changes · EDGAR ↗ |
13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.